17.Csmall Business Technology Transfer (Sttr)

AIR FORCE

17.CSMALL BUSINESS TECHNOLOGY TRANSFER (STTR)

PROPOSAL PREPARATION INSTRUCTIONS

The Air Force (AF) proposal submission instructions are intended to clarify the Department of Defense (DoD) instructions as they apply to AF specific requirements.Firms must ensure their proposal meets all requirements of the Broad AgencyAnnouncement currently posted on the DoD website at the time the solicitation closes. I.

The AF Program Manager is David Shahady,1-800-222-0336. For general inquiries or problems with the electronic submission, contact the DoD SBIR/STTR Help Desk at[1-800-348-0787] or Help Desk email at (9:00 a.m. to 6:00 p.m. ETMondaythroughFriday). For technical questions about the topics during the pre-solicitation period (25 Aug 2017 through 25 Sep 2017through 22), contact the Topic Authors listed for each topic on the Web site. For information on obtaining answers to your technical questions during the formal announcement period (26 Sep 2017 through 25 Oct 2017), go to

General information related to the AF Small Business Technology Transfer Program can be found at the AF Small Business website, The site contains information related to contracting opportunities within the AF, as well as business information, and upcoming outreach/conference events. Other informative sites include those for the Small Business Administration (SBA), and the Procurement Technical Assistance Centers, These centers provide Government contracting assistance and guidance to small businesses, generally at no cost.

PHASE I PROPOSAL SUBMISSION

The Air Force SBIR/STTR Program Office has instituted new requirements in an initiative to combat fraud in the SBIR/STTR program. As a result, each Small Business is required to visit the AF SBIR Program websiteand read through the "Compliance with Small Business Innovation Research(SBIR) and Small Business Technology Transfer (STTR) Program Rules”training located at: The Certificate of Training Completion, MUST be signed by an official of your company and is required prior to contract award.It is recommended that the Certificate be submitted with your proposal. The Certificate is located at the end of the training presentation and/or pg. AF-8 of this document. To submit the Certificate with the proposal, attach and upload this document to the back of your technical volume.This form will not count against the20-page limitation.

Read the DoD program announcement at program requirements. When you prepare your proposal, keep in mind that Phase I should address the feasibility of a solution to the topic. For the AF, the contract period of performance for Phase I shall be nine (9) months, and the award shall not exceed $150,000. We will accept only one Cost Volume per Topic Proposal and it must address the entire nine-month contract period of performance.

The Phase I award winners must accomplish the majority of their primary research during the first six months of the contract with the additional three months of effort to be used for generating final reports. Each AF organization may request Phase II proposals prior to the completion of the first six months of the contract based upon an evaluation of the contractor’s technical progress and review by the AF technical point of contact utilizing the criteria in section 6.0 of the DoD announcement. The last three months of the nine-month Phase I contract will provide project continuity for all Phase II award winners (see “Phase II Proposal Submissions” below); no modification to the Phase I contract should be necessary.

Limitations on Length of Proposal

The Phase I Technical Volume has a 20-page-limit (excluding the Cover Sheet, Cost Volume, Cost Volume Itemized Listing (a-j), Company Commercialization Report, and Certificate of Training Completion Form). The Technical Volume must be in type no smaller than 10-point on standard 8-1/2" x 11" paper with one (1) inch margins. Only the Technical Volume and any enclosures or attachments count toward the 20-page limit. In the interest of equity, pages in excess of the 20-page limitation will notbe considered for review or award.

Phase I Proposal Format

Proposal Cover Sheet: If your proposal is selected for award, the technical abstract and discussion of anticipated benefits will be publicly released on the Internet. Therefore, DO NOT include proprietary information in these sections.

Technical Volume: The Technical Volume should include all graphics and attachments but should not include the Cover Sheet or Company Commercialization Report (as these items are completed separately). Most proposals will be printed out on black and white printers so make sure all graphics are distinguishable in black and white. To verify that your proposal has been received, click on the “Check Upload” icon to view your proposal. Typically, your uploaded file will be virus checked and converted to a .pdf document within the hour. However, if your proposal does not appear after an hour, please contact the DoD SBIR/STTR Help Desk at [1-800-348-0787] or Help Desk email at [ (9:00 am to 6:00 pm ET).

Key Personnel: Identify in the Technical Volume all key personnel who will be involved in this project; include information on directly related education, experience, and citizenship. A technical resume of the principle investigator, including a list of publications, if any, must be part of that information. Concise technical resumes for subcontractors and consultants, if any, are also useful. You must identify all U.S. permanent residents to be involved in the project as direct employees, subcontractors, or consultants. You must also identify all non-U.S. citizens expected to be involved in the project as direct employees, subcontractors, or consultants. For all non-U.S. citizens, in addition to technical resumes, please provide countries of origin, the type of visa or work permit under which they are performing and an explanation of their anticipated level of involvement on this project, as appropriate. You may be asked to provide additional information during negotiations in order to verify the foreign citizen’s eligibility to participate on a contract issued as a result of this announcement.

Phase I Work Plan Outline

At the beginning of your proposal work plan section, include an outline of the work plan in the following format:

1)Scope:List the major requirements and specifications of the effort.

2)Task Outline:Provide a brief outline of the work to be accomplished over the span of the Phase I effort.

3)Milestone Schedule

4)Deliverables

1. Kickoff meeting within 30 days of contract start
2. Progress reports
3. Technical review within 6 months
4. Final report with SF 298

Cost Volume

Cost Volume information should be provided by completing the on-line Cost Volume form and including the Cost Volume Itemized Listing (a-j) specified below. The Cost Volume information must be at a level of detail that would enable Air Force personnel to determine the purpose, necessity and reasonability of each cost element. Provide sufficient information on how funds will be used if the contract is awarded. The on-line Cost Volume and Itemized Cost Volume Information will not count against the 20-page limit. The itemized listing may be placed in the “Explanatory Material” section of the on-line Cost Volume form (if enough room), or as the last page(s) of the Technical Volume Upload. (Note: Only one file can be uploaded to the DoD Submission Site). Ensure that this file includes your complete Technical Volume and the information below.

a. Special Tooling and Test Equipment and Material: The inclusion of equipment and materials will be carefully reviewed relative to need and appropriateness of the work proposed. The purchase of special tooling and test equipment must, in the opinion of the Contracting Officer, be advantageous to the government and relate directly to the specific effort. They may include such items as innovative instrumentation and/or automatic test equipment.

b. Materials: Justify costs for materials, parts, and supplies with an itemized list containing types, quantities, and price and where appropriate, purposes.

c. Other Direct Costs: This category of costs includes specialized services such as machining or milling, special testing or analysis, costs incurred in obtaining temporary use of specialized equipment. Proposals which include leased hardware, must provide an adequate lease vs. purchase justification or rational.

d. Direct Labor: Identify key personnel by name if possible or by labor category if specific names are not available. The number of hours, labor overhead and/or fringe benefits and actual hourly rates for each individual are also necessary.

e. Travel: Travel costs must relate to the needs of the project. Break out travel cost by trip, with the number of travelers, airfare, per diem, lodging, etc. The number of trips required, as well as the destination and purpose of each trip should be reflected. Recommend budgeting at least one (1) trip to the Air Force location managing the contract.

f. Cost Sharing: If proposing cost share arrangements, please note each Phase I contract total value may not exceed $150K total, while Phase II contracts shall have an initial Not to Exceed value of $750K. Please note cost share contracts or portions of contracts do not allow fee. NOTE: Subcontract arrangements involving provision of Independent Research and Development (IRD) support are prohibited in accordance with Under Secretary of Defense (USD) memorandum “Contractor Cost Share”, dated 16 May 2001, as implemented by SAF/AQ memorandum, same title, dated 11 Jul 2001.

g. Subcontracts: Involvement of a research institution is required in the project. Involvement of other subcontractors or consultants may also be desired. Describe in detail the tasks to be performed in the Technical Volume and include information in the Cost Volume for the research institution and any other subcontractors/consultants. The proposed total of all consultant fees, facility leases or usage fees, and other subcontract or purchase agreements may not exceed 60 percent of the total contract price or cost, unless otherwise approved in writing by the Contracting Officer. The STTR offeror’s involvement must equate to not less than 40 percent of the overall effort and the research institutions must equate to not less than 30 percent.

Support subcontract costs with copies of the subcontract agreements. The supporting agreement documents must adequately describe the work to be performed, i.e., Cost Volume. At a minimum, an offeror must include a Statement of Work (SOW) with a corresponding detailed cost proposal for each planned subcontract.

h. Consultants: Provide a separate agreement letter for each consultant. The letter should briefly state what service or assistance will be provided, the number of hours required, and hourly rate.

i. Any exceptions to the model Phase I purchase order (P.O.) found at

NOTE: If no exceptions are taken to an offeror’s proposal, the Government may award a contract without discussions (except clarifications as described in FAR 15.306(a)). Therefore, the offeror’s initial proposal should contain the offeror’s best terms from a cost or price and technical standpoint. In addition, please review the model Phase I P.O. found at and provide any exception to the clauses found therein with your cost proposal. Full text for the clauses included in the P.O. may be found at Please note, the posted P.O. template is for the Small Business Innovation Research (SBIR) Program. While P.O.s for STTR awards are very similar, if selected for award, the contract or P.O. document received by your firm may vary in format/content. If there are questions regarding the award document, contact the Phase I Contracting Officer listed on the selection notification. (See item g under the “Cost Volume” section, pg. AF-3.) The Government reserves the right to conduct discussions if the Contracting Officer later determines them to be necessary.

j. DD Form 2345: For proposals submitted under export-controlled topics (either International Traffic in Arms (ITAR) or Export Administration Regulations (EAR)), a copy of the certified DD Form 2345, Militarily Critical Technical Data Agreement, or evidence of application submission must be included. The form, instructions, and FAQs may be found at the United States/Canada Joint Certification Program website, Approval of the DD Form 2345 will be verified if proposal is chosen for award.

NOTE: Restrictive notices notwithstanding, proposals may be handled for administrative purposes only, by support contractors; Bytecubed, and/or Peerless Technologies. In addition, only Government employees and technical personnel from Federally Funded Research and Development Centers (FFRDCs) MITRE and Aerospace Corporations working under contract to provide technical support to AF Life Cycle Management Center and Space and Missiles Centers may evaluate proposals. All support contractors are bound by appropriate non-disclosure agreements. If you have concerns about any of these contractors, you should contact the AF SBIR/STTR Contracting Officer, Gail Nyikon, .

k. The Air Force does not participate in the Discretionary Technical Assistance Program. Contractors should not submit proposals that include Discretionary Technical Assistance.

PHASE I PROPOSAL SUBMISSION CHECKLIST

NOTE: If you are not registered in the System for Award Management, you will not be eligible for an award.

1) The Air Force Phase I proposal shall be a nine-month effort and the cost shall not exceed $150,000.

2) The Air Force will accept only those proposals submitted electronically via the DoD SBIR Web site (

3) You must submit your Company Commercialization Report electronically via the DoD SBIR website (

It is mandatory that the complete proposal submission -- DoD Proposal Cover Sheet, Technical Volume with any appendices, Cost Volume, Itemized Cost Volume Information, and the Company Commercialization Report,and Certificate of Training Completion Form-- be submitted electronically through the DoD SBIR website at Your complete proposalmustbe submitted via the submissions site on or before the8:00 pm ET,25 Oct 2017deadline. A hardcopywill notbe accepted.

AIR FORCE PROPOSAL EVALUATIONS

The AF will utilize the Phase I proposal evaluation criteria in section 6.0 of the DoD announcement in descending order of importance with technical merit being most important, followed by the qualifications of the principal investigator (and team), and followed by Commercialization Plan. The AF will utilize Phase II evaluation criteria in section 8.0 of the DoD announcement. Please note that where technical evaluations are essentially equal in merit, cost to the Government will be considered in determining the successful offeror. The next tie-breaker on essentially equal proposals will be the inclusion of manufacturing technology considerations.

The proposer's record of commercializing its prior SBIR and STTR projects, as shown in its Company Commercialization Report, will be used as a portion of the Commercialization Plan evaluation. If the "Commercialization Achievement Index (CAI)”, shown on the first page of the report, is at the 20th percentile or below, the proposer will receive no more than half of the evaluation points available under evaluation criterion (c) in Section 6 of the DoD 17.A STTR instructions. This information supersedes Paragraph 4, Section 5.4e, of the DoD 16.ASTTR instructions.

A Company Commercialization Report showing the proposing firm has no prior Phase II awards will not affect the firm's ability to win an award. Such a firm's proposal will be evaluated for commercial potential based on its commercialization strategy.

Proposal Status and Debriefings

The Principal Investigator (PI) and Corporate Official (CO) indicated on the Proposal Cover Sheet will be notified by e-mail regarding proposal selection or non-selection. Small businesses will receive a notification for each proposal submitted. Please read each notification carefully and note the Proposal Number and Topic Number referenced. If changes occur to the company mail or email address(es) or company points of contact after proposal submission, the information shall be provided to the AF at .

As is consistent with the DoD SBIR/STTR announcement, any debriefing requests must be submitted in writing within 30 days after receipt of notification of non-selection. Written requests for debrief must be sent to the Contracting Officer named on your non-selection notification. Requests for debrief should include the company name and the telephone number/e-mail address for a specific point of contract, as well as an alternate. Also include the topic number under which the proposal(s) was submitted, and the proposal number(s). Debrief requests received more than 30 days after receipt of notification of non-selection will be fulfilled at the Contracting Officers' discretion. Unsuccessful offerors are entitled to no more than one debriefing for each proposal.

IMPORTANT: Proposals submitted to the AF are received and evaluated by different offices within the Air Force and handled on a Topic-by-Topic basis. Each office operates within their own schedule for proposal evaluation and selection. Updates and notification timeframes will vary by office and Topic. If your company is contacted regarding a proposal submission, it is not necessary to contact the AF to inquire about additional submissions. Additional notifications regarding your other submissions will be forthcoming.

We anticipate having all the proposals evaluated and our Phase I contract decisions within approximately three months of proposal receipt. All questions concerning the status of a proposal or debriefing should be directed to the local awarding organization SBIR/STTR Program Manager.